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Former SEC-registered adviserFormer SEC adviser· Pfaeffikon

Former SEC-registered adviser, based in Pfaeffikon, reporting $299M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$299M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-41%
Form ADV, consecutive annual filings
Private clients
49% of RAUM, $146M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 166429 · SEC 801-77941 · 17 filingsShow
CRD 166429SEC 801-77941First filing on the tape Apr 5, 2013, latest Mar 29, 2024IAPD
RAUM
$299M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$299M as of Mar 29, 2024
Mar 20, 2014$829M then
HNW client RAUM$146M as of Mar 29, 2024
Mar 28, 2018$454M then
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 20, 20140 then
Employees (5.A)5 as of Mar 29, 2024
Mar 20, 20146 then
Private funds: no history
RAUM -41% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.3MderivedHNW RAUM over HNW clients
Average account
$9.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$146M49%
  • Corporations and businesses$104M35%
  • Charitable organizations$49.3M16%
Individual clients
n/areported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• G••••••• F•••••• · Chairmancontrol
        since 05/2011 · owns less than 5%
      • I••• A••••• · Non-Executive Directorcontrol
        since 01/2021 · owns less than 5%
      • M•••••• J•••••• · Chief Compliance Officercontrol
        since 09/2013 · owns less than 5%
      • R••••• D•••••• O••••• A••••• · Non-Executive Directorcontrol
        since 03/2018 · owns less than 5%
      • T•••• B••••• L•••• · Deputy Ceocontrol
        since 01/2014 · owns less than 5%
      • R••••• D•••••• O••••• A••••• · Partnercontrol
        since 03/2018 · owns 25% to 50% of B••• B•••••• • C••
      • W•••••• A•••• · Chief Executive Officer And Chief Investment Officer
        since 04/2013 · owns less than 5%
      Entity owners
      • C•••••• H•••••• A• · Shareholder
        direct · owns 75% or more
      • B••• B•••••• • C•• · Shareholder
        indirect · owns 50% to 75% of C•••••• H•••••• A•
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 32 to 31
        Mar 27, 2023 to Mar 29, 2024
      • Advisory employees · 4 to 3
        Mar 27, 2023 to Mar 29, 2024
      • Employees · 7 to 5
        Mar 27, 2023 to Mar 29, 2024
      • Discretionary RAUM · $507M to $299M
        Mar 27, 2023 to Mar 29, 2024
      • HNW RAUM · $352M to $146M
        Mar 27, 2023 to Mar 29, 2024
      • RAUM · $507M to $299M
        Mar 27, 2023 to Mar 29, 2024
      • Accounts · 30 to 32
        Mar 21, 2022 to Mar 27, 2023
      • Advisory employees · 5 to 4
        Mar 21, 2022 to Mar 27, 2023
      • Employees · 9 to 7
        Mar 21, 2022 to Mar 27, 2023
      • Discretionary RAUM · $897M to $507M
        Mar 21, 2022 to Mar 27, 2023
      • HNW RAUM · $674M to $352M
        Mar 21, 2022 to Mar 27, 2023
      • RAUM · $897M to $507M
        Mar 21, 2022 to Mar 27, 2023
      • Accounts · 27 to 30
        Mar 29, 2021 to Mar 21, 2022
      • Advisory employees · 4 to 5
        Mar 29, 2021 to Mar 21, 2022
      • HNW clients · 16 to 20
        Mar 29, 2021 to Mar 21, 2022
      • Employees · 6 to 9
        Mar 29, 2021 to Mar 21, 2022
      • HQ city · ZOLLIKON to PFAEFFIKON
        Mar 29, 2021 to Mar 21, 2022
      • Discretionary RAUM · $720M to $897M
        Mar 29, 2021 to Mar 21, 2022
      • HNW RAUM · $635M to $674M
        Mar 29, 2021 to Mar 21, 2022
      • RAUM · $720M to $897M
        Mar 29, 2021 to Mar 21, 2022
      • Accounts · 28 to 27
        Mar 19, 2020 to Mar 29, 2021
      • Corporate clients · 5.0 to unset
        Mar 19, 2020 to Mar 29, 2021
      • Discretionary RAUM · $616M to $720M
        Mar 19, 2020 to Mar 29, 2021
      • HNW RAUM · $504M to $635M
        Mar 19, 2020 to Mar 29, 2021
      • RAUM · $616M to $720M
        Mar 19, 2020 to Mar 29, 2021
      • Accounts · 25 to 28
        Mar 26, 2019 to Mar 19, 2020
      • HNW clients · 18 to 16
        Mar 26, 2019 to Mar 19, 2020
      • Discretionary RAUM · $567M to $616M
        Mar 26, 2019 to Mar 19, 2020
      • HNW RAUM · $407M to $504M
        Mar 26, 2019 to Mar 19, 2020
      • RAUM · $567M to $616M
        Mar 26, 2019 to Mar 19, 2020
      • Accounts · 28 to 25
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $629M to $567M
        Mar 28, 2018 to Mar 26, 2019
      • HNW RAUM · $454M to $407M
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $629M to $567M
        Mar 28, 2018 to Mar 26, 2019
      • Accounts · 26 to 28
        Jun 30, 2017 to Mar 28, 2018
      • Corporate clients · unset to 5.0
        Jun 30, 2017 to Mar 28, 2018
      • HNW clients · unset to 18.0
        Jun 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Jun 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $585M to $629M
        Jun 30, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 454214444.0
        Jun 30, 2017 to Mar 28, 2018
      Signals
      7 dated events
      • ••• Locked
        Mar 29, 2024 · RAUM change · derived
      • ••• Locked
        Mar 27, 2023 · RAUM change · derived
      • ••• Locked
        Mar 29, 2021 · Control person joined · fact
      • ••• Locked
        Mar 29, 2021 · Control person joined · fact
      • ••• Locked
        Mar 26, 2019 · Control person left · inference
      • ••• Locked
        Mar 26, 2019 · Control person left · inference
      • ••• Locked
        Apr 5, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026